0001101215-16-000283.txt : 20160217 0001101215-16-000283.hdr.sgml : 20160217 20160217160626 ACCESSION NUMBER: 0001101215-16-000283 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160216 FILED AS OF DATE: 20160217 DATE AS OF CHANGE: 20160217 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ALLIANCE DATA SYSTEMS CORP CENTRAL INDEX KEY: 0001101215 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 311429215 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 7500 DALLAS PARKWAY, SUITE 700 CITY: PLANO STATE: TX ZIP: 75024 BUSINESS PHONE: 2144943000 MAIL ADDRESS: STREET 1: 7500 DALLAS PARKWAY, SUITE 700 CITY: PLANO STATE: TX ZIP: 75024 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HEFFERNAN EDWARD J CENTRAL INDEX KEY: 0001158371 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15749 FILM NUMBER: 161433269 MAIL ADDRESS: STREET 1: 17655 WATERVIEW PARKWAY CITY: DALLAS STATE: TX ZIP: 75252 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-02-16 0001101215 ALLIANCE DATA SYSTEMS CORP ADS 0001158371 HEFFERNAN EDWARD J 7500 DALLAS PARKWAY, SUITE 700 PLANO TX 75024 1 1 0 0 President and CEO Common Stock 2016-02-16 4 A 0 5026 A 226526 D Common Stock 2016-02-16 4 A 0 20104 A 246630 D The new grant is for 5,026 shares of common stock represented by time-based restricted stock units. The restrictions will lapse on 1,659 units on each of 2/16/17 and 2/16/18 and on 1,708 units on 2/19/19, subject to continued employment by the Reporting Person on the vesting dates. The new grant is for 20,104 shares of common stock represented by performance-based restricted stock units, which may be adjusted up or down at the time the performance restriction lapses. The restriction may lapse with respect to 33% of such shares on each of 2/16/17 and 2/16/18 and with respect to 34% of such shares on 2/19/19 contingent on meeting an EBT metric for 2016 and subject to continued employment by the Reporting Person on the vesting dates. The total number of securities beneficially owned includes: (a) 173,834 unrestricted shares; (b) 1,893 unvested units from an award of 5,567 time-based restricted stock units granted 2/21/13; (c) 10,564 unvested units from an award of 31,068 performance-based restricted stock units granted 2/21/13; (d) 2,514 unvested units from an award of 3,751 time-based restricted stock units granted 2/18/14; (e) 13,624 unvested units from an award of 20,333 performance-based restricted stock units granted 2/18/14; (f) 3,814 unvested time-based restricted stock units granted 2/17/15; (g) 15,257 unvested performance-based restricted stock units granted 2/17/15; (h) the new grant for 5,026 time-based restricted stock units; and (i) the new grant for 20,104 performance-based restricted stock units. Cynthia L. Hageman, Attorney in Fact 2016-02-17